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30 · FEB. 27, 2017
FINANCIAL
AREA'S LARGEST STOCK & BOND BROKERS
Rank
Name
Address
Telephone•Fax
Website
Numberof
Licensed
(Series7)
Brokers
Employees
(Local)
Offices
Local
Nationwide
TopLocalExecutive(s),Title(s) Services
Nameof
Clearinghouse
Headquarters
YearFounded
Locally
Nationally
1 (1)
Edward Jones Investments
Various offices, southwest Missouri
(800) 335-6637 21 75 30
12,103 Varies1
Investment banking & management, individual &
business retirement plans, education savings
plans, life insurance, annuities, long-term care
insurance, estate & trust services
Self-clearing
St. Louis
1986
1922
2 (4)
Morgan Stanley Wealth Management
1535 E Primrose St, Springfield 65804
(417) 882-7150 • (417) 882-9744 21 24 1
622
Anita Oplotnik, vice president/
branch manager
Investment management, financial planning,
retirement planning, life insurance, 401(k)
plans, foundation endowments, trust services,
banking & lending
Self-clearing
New York, NY
1945
1924
3 (2)
Penney Murray & Associates
1342 E Kingsley St, Ste E, Springfield 65804
(417) 881-9200 • (417) 890-7184 18 22 2
8
Ron Penney
Seth Murray, owners
Financial planning, investment management,
retirement & business planning
Ameriprise Financial
Springfield
2001
1894
4 (6)
Heim, Young & Associates Inc
1256 E Kingsley St, Springfield 65804
(417) 882-7283 • (417) 883-6315 17 21 2
2
Dennis Heim,
Dean Young,
Brent Singleton, partners
Certified financial planner professionals
offering financial, education & estate planning,
investment & portfolio management, retirement
National Financial
Services LLC
Springfield
1989
1989
5 (15)
Strategic Financial Concepts Inc
3556 S Culpepper Circle, Ste 1, Springfield 65804
(417) 823-3810 13 10 4
16
Craig Wright, financial adviser/
director of development
Investments, financial planning, insurance,
business planning, tax management, estate
planning, capital accumulation
Pershing LLC
Wichita, KS
2009
1992
6
Vineyard Asset Management LLC
3812 S Fremont Ave, Springfield 65804
(417) 881-7100 • (417) 881-7103 7 7 1
5 Benjamin Newhouse, CEO
Independent investment advisory, family-office
services for physicians, business owners &
high net worth investors, estate & tax planning,
risk management, asset protection
TD Ameritrade
Institutional
Springfield
2007
2007
7 (9)
Piatchek & Associates Inc
1355 E Bradford Pkwy, Ste F, Springfield 65804
(417) 881-7900 • (417) 882-4209 5 9 3
5
John Piatchek, president;
Kenny Gott, executive vice president
Retirement & estate planning, insurance,
financial planning, investments, business
consulting
National Financial
Services LLC
Springfield
1972
2002
As of Aug. 8, 2016. Ranked by number of local Series 7 licensed brokers, then by number of local employees. The previous year's rankings are in parentheses. Series 7 licenses are administered by Financial Industry Regulatory Authority as a mandatory
entry-level examination for stockbrokers. Springfield Business Journal relies on individual businesses to be truthful and accurate in their representation of information listed. Merrill Lynch, which ranked No. 3 last year, and Waddell & Reed Inc, which
ranked No. 5, did not respond to survey requests. To be considered for future list fices are managed individually.
© Copyright 2016 SBJ. All rights reserved. This material may not be republished, rebroadcast, rewritten or redistributed. Researched by Emily Letterman